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LO Ho Tak

盧浩德
CE AVR437Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LO Ho Tak (CE number AVR437) is an individual licensed by the Hong Kong SFC. First licensed on 2010-08-11. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerPeakhouse Asset Management Limited
睿峰資產管理有限公司

Licence Record (15)

2023-12-18 – present Current
Peakhouse Asset Management Limited RO
RA 1 RA 4 RA 9
2023-11-16 – 2023-12-18
Peakhouse Asset Management Limited Rep
RA 4 RA 9
2022-11-22 – 2023-10-28
Avenue Family Office Limited RO
RA 1 RA 4 RA 9
2022-11-22 – 2023-10-28
Avenue Asset Management Limited RO
RA 4 RA 9
2020-05-18 – 2022-11-22
Avenue Family Office Limited Rep
RA 1 RA 4 RA 9
2020-05-18 – 2022-11-22
Avenue Asset Management Limited Rep
RA 4 RA 9
2015-05-07 – 2020-05-08
China Industrial Securities International Brokerage Limited Rep
RA 1 RA 4
2015-05-07 – 2020-05-08
China Industrial Securities International Futures Limited Rep
RA 2
2014-08-01 – 2015-04-24
BOCOM International Securities Limited Rep
RA 1 RA 2
2013-03-06 – 2013-12-27
Crosby Securities Limited Rep
RA 1 RA 4 RA 9
2012-02-13 – 2012-09-28
Crosby Wealth Management (Hong Kong) Limited Rep
RA 4 RA 9
2011-09-27 – 2011-10-31
First Shanghai Securities Limited Rep
RA 1
2011-09-27 – 2011-10-31
First Shanghai Futures Limited Rep
RA 2
2010-08-11 – 2011-09-17
Core Pacific - Yamaichi International (H.K.) Limited Rep
RA 1
2010-08-11 – 2011-09-17
Core Pacific-Yamaichi Securities (H.K.) Limited Rep
RA 1

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AVR437